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9/13/2019Material Information/TransactionsC030982018SECURITIES AND EXCHANGE COMMISSION
SEC FORM 17C
CURRENT REPORT UNDER SECTION 17
OF THE SECURITIES REGULATION CODE
AND SRC RULE 17.2(c) THEREUNDER1.
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What is final rule recordkeeping and?
Final rule recordkeeping is the process of documenting and maintaining records related to compliance with a specific regulation or rule.
Who is required to file final rule recordkeeping and?
Entities or individuals who are subject to the regulation or rule are generally required to file final rule recordkeeping.
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Final rule recordkeeping can typically be filled out electronically or on paper, following the specific instructions provided by the regulatory body.
What is the purpose of final rule recordkeeping and?
The purpose of final rule recordkeeping is to ensure that entities are in compliance with the regulation or rule, and to provide a record of their activities.
What information must be reported on final rule recordkeeping and?
The specific information required for final rule recordkeeping will vary depending on the regulation or rule, but generally includes details of actions taken to comply.
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